Regulation

After building an empire on passive funds, the world’s largest asset manager is readying a suite of actively managed funds.

The former United Planners' advisor conducted the sales without his firm's permission over nearly a decade, according to the regulator.

Some fund managers specializing in distressed debt smell an opportunity.

The wire fraud charge came nearly four years after the CFP Board revoked his certification.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

The board will release new proposed revisions and seeks additional public comments.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

A 75-year-old widowed retiree allegedly lost nearly half of her $3 million investment in the scheme.

The rule’s impact could be “devastating if independent research ceases or is significantly diminished,” the manager warns.